EGW Asset Management Inc. (hereafter EGW)’s Conflict Resolution Procedure
EGW’s response to complaints
(1) Resolution through discussions with EGW and Client. EGW will outline the rules and procedure for complaints. EGW will respond to the requests and proposals of Clients in a serious and prompt manner.
Clients may contact the following department with any concerns or questions:
EGW Asset Management Inc./ Compliance Department
Address: Roppongi Hills Mori Tower 37th Floor, 6-10-1 Roppongi, Minato-ku, Tokyo
Telephone: +81 3 5771 3939
Reception hours: 9:30am to 6:00pm, Monday to Friday (except public holidays and the Year-End and New Year holidays)
(2) In view of the mandatory procedures for complaint processing and dispute resolution provided under the Financial Instruments and Exchange Act (“FIEA”), we are taking the following procedures for each of the businesses wherein we have obtained a registration.
i. For the Investment Management Business and Investment Advisory and/or Agency Service Business
We endeavor to settle complaints and resolve disputes relating to our financial instruments businesses through the resolution or intercession services that are being provided by the Japan Investment Advisers Association in accordance with the provisions of the FIEA.
ii. For Type II Instruments Business
We endeavor to settle complaints and resolve disputes relating to our financial instruments businesses through the resolution or intercession services that are being provided by the Financial Instruments Mediation Assistance Center (“FINMAC”) in accordance with the provisions of the FIEA.
Please be advised that, with respect to complaints received from or the resolution of disputes with investors, etc. relating to the financial instruments businesses conducted by members of the Japan Investment Advisors Association, relevant intercession services are being offered by FINMAC under consignment. Accordingly, the contact details for both cases (1) and (2) mentioned above are as follows:
Financial Instruments Mediation Assistance Center (FINMAC)
Telephone: 0120 64 5005 (Toll Free within Japan)
Business hours: 9:00am to 5:00pm, Monday to Friday (excluding holidays and substitute holidays and the period from December 31st to January 3rd)
Solicitation Policy
EGW officially announces our policy on solicitation for financial products based on Article 9 of the Act on Sales, etc. of Financial Products.
(1) The following items should be considered in light of the knowledge, experiences, and financial standing of the intended persons in accordance with Item 1 and paragraph 2 of Article 9 of the Act on Sales, etc. of Financial Products:
i. When soliciting investments for customers, EGW takes into account the customers’ knowledge, investment experience, and the property’s condition and characteristics.
ii. EGW aims to provide appropriate and accurate explanations regarding the product’s contents, risks and costs to enable customers to make an informed investment decision.
(2) The following items should be considered with regard to the method and timing of solicitation in accordance with Item 2 and paragraph 2 of Article 9 of the Act on Sales, etc. of Financial Products:
i. EGW’s primary responsibility is to always to assure the trust of the investors and EGW undertakes fair solicitation based on the Act on Sales, etc. of Financial Products and other regulations.
ii. EGW carefully takes into consideration the location, timing, and method of solicitation to avoid any inconvenience.
(3) The following items should be considered to ensure appropriate solicitation in accordance with Item 3 and paragraph 2 of Article 9 of the Act on Sales, etc. of Financial Products:
i. EGW endeavors to remain up to date with any amendments to the relevant laws or the introduction of new laws. EGW and its employees also continually aim to acquire and enhance the skills necessary to avoid any inappropriate solicitation.
ii. EGW responds sincerely to customer’s complaints and requests and continually strives to improve. If customers have any complaints and requests please feel free to reach Compliance Department of EGW at 03 5771 3939.
Notice Concerning Advertisements under the Financial Instruments and Exchange Law of Japan
The products and services provided by EGW Asset Management Inc. (“EGW”) are broad and in wide variety and therefore, EGW will not be able to preliminarily indicate the amount of the fee or its calculation method.
All investment products handled by EGW (beneficiary interest in trust, Tokumei Kumiai investments) have the possibility of incurring losses due to fluctuations in value, rent of underlying real asset and operating expenses for thereof, as well as interest rates. EGW does not guarantee the principal or the yield of such investments. The investor will bear the risk of the value of the investment to fall to less than the principal amount.
EGW Asset Management Inc.
Financial instrument firm registered with the Financial Services Agency of Japan Registration Number 2589, Kanto Local Bureau (Type II Financial Instruments Business, Investment Advisory and Agency Business, and Investment Management Business)
Member of Japan Investment Advisers Association
Permission of Specified Joint Real Estate Enterprise (Ministry of Land, Infrastructure, Transport and Tourism)